Sr Ops Specialist, New Accounts

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

The Senior Operations Specialist for New Accounts ensures the highest quality standards across all operational functions, delivering exceptional service to advisors and clients. This position serves as a subject matter expert on operational policies and procedures, manages the review and maintenance of complex account paperwork, and executing quality control initiatives to proactively identify and resolve processing errors.

 

Responsibilities:

• Reviewing and processing new account documentation; Maintaining accounts as required.
• Ensuring proper application of compliance and regulatory policies and procedures.
• Assisting with questions from advisors and internal and external business partners.
• Researching complex situations and defining the actions necessary for resolution.
• Contributing to continuous improvement of the client experience and efficiency by documenting quality issues, performance measures, and quality improvements for management review as required.
• Engaging in Quality Control related tasks to identify and correct processing errors including Letter and court document review.
• Handling escalations by both the Service Center and Advisors
• Other assignments as required by Management

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.  

Requirements:

• 1+ years of industry experience (preferably financial services) in Operations
• 1+ Year experience with BETA (ACCT, DOCA, DAML, SPAD, ARIE, BORD, DEMO, etc)

Core Competencies:

• Ability to work independently in a fast-paced environment with multiple competing priorities
• Strong attention to detail with a pro-active approach to solving and preventing problems
• Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
• Excellent verbal and written communication skills

Preferences:

• 1+ Year experience with Letter and court document review processing
• Proficiency in quality checks for letter review
• All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
• Bachelor Degree preferred or equivalent work experience

 

Pay Range:

$17.23-$28.72/hour

 

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they de